Personnel Hong Kong SFC License Details (ID 38679)

Personnel Hong Kong SFC License Details (ID 38679)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
GALAXY ASSET MANAGEMENT (H.K.) LIMITED	Rep	Advising on securities	2016-08-26	-
	Rep	Asset management	2016-08-26	-
	Rep	Advising on futures contracts	2016-08-26	2024-03-14
	RO	Advising on futures contracts	2005-05-17	2016-08-26
	RO	Advising on securities	2005-05-17	2016-08-26
	RO	Asset management	2005-05-17	2016-08-26
	Rep	Asset management	2004-09-16	2005-05-17
	Rep	Advising on futures contracts	2004-03-24	2005-05-17
	Rep	Advising on securities	2004-03-24	2005-05-17
Glory Sun Securities Limited	Rep	Advising on corporate finance	2003-04-01	2003-06-26
	Rep	Advising on securities	2003-04-01	2003-06-26
	Rep	Asset management	2003-04-01	2003-06-26
	Rep	Dealing in securities	2003-04-01	2003-12-08